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Christopher Brennen

LPL Financial LLC
32 Years of Experience
New Hartford, NY
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Christopher Brennen is a registered investment advisor at LPL Financial LLC, based in New Hartford, NY, with 32 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9 Oxford Road, New Hartford, NY, 13413

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
August 2021
Criminal
February 2021
Final Disposition
Customer Dispute
November 2015
Denied
Customer Dispute
July 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Christopher operates as a financial professional under the name Christopher A. Brennen and is a managing director at Sedgwick Wealth Partners, dedicating full-time hours to each. He also sells fixed annuities, life/health, and long-term care insurance, but spends minimal time on these activities.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Cadaret, Grant & CO., INC.Broker
September 2021 - July 2025 · 3 yrs 10 mos
Cadaret Grant & CO INC
September 2021 - July 2025 · 3 yrs 10 mos
Wells Fargo Clearing Services, LLC
June 2017 - August 2021 · 4 yrs 2 mos
Wells Fargo Clearing Services, LLCBroker
June 2017 - August 2021 · 4 yrs 2 mos
Key Investment Services LLCBroker
September 2016 - July 2017 · 10 mos
Key Investment Services LLC
September 2016 - December 2016 · 3 mos
LPL Financial LLCBroker
May 2012 - September 2016 · 4 yrs 4 mos
LPL Financial LLC
May 2012 - September 2016 · 4 yrs 4 mos
Hsbc Securities (USA) INC.
March 2010 - May 2012 · 2 yrs 2 mos
Hsbc Securities (USA) INC.Broker
March 2010 - May 2012 · 2 yrs 2 mos
Cco Investment Services CORP.
October 2007 - March 2010 · 2 yrs 5 mos
Cco Investment Services CORP.Broker
July 2007 - March 2010 · 2 yrs 8 mos
Linsco/private Ledger CORP.Broker
January 2003 - July 2007 · 4 yrs 6 mos
Morgan Stanley Dw INC.Broker
April 1999 - December 2002 · 3 yrs 8 mos
Flagship Securities, INC.Broker
February 1995 - April 1999 · 4 yrs 2 mos
Pruco Securities CorporationBroker
November 1993 - September 1994 · 10 mos
State Registrations10 states
AZDEFLMDNMNYOHPATXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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